Rincon Wealth Management

Rincon Wealth Management is a solo independent registered investment adviser that serves individuals (including high-net-worth clients), plan participants, and nonprofit/religious organizations. The firm provides ongoing portfolio management, financial planning, retirement plan participant services, and sponsors special purpose vehicles (SPVs) to enable qualified clients to access private offerings.

The firm documents client objectives in Investment Policy Statements and typically manages accounts on a discretionary basis, using a mix of fundamental, quantitative, technical and modern portfolio theory to construct portfolios. Rincon uses a range of strategies — including long- and short-term trading, margin, short sales and options — and implements model portfolios and managed-account programs through sub-advisory relationships with providers such as AE Wealth Management and Betterment for Advisors.

Notable distinctions from many peers include acting as a fund sponsor and manager of pooled vehicles (SPVs), explicit use of derivatives and shorting in separately managed accounts, and advisory arrangements that rely on broker-dealer affiliated platforms. The firm also discloses that a principal is a registered representative of a broker-dealer and a licensed insurance agent (accepting commission-based insurance sales), and reports outside business activities (hospitality, angel investing and single-purpose investment entities) that are identified as potential conflicts in its ADV.